SEC Guides
Practical explainers for SEC filings, EDGAR, private funds and adviser records.
What Is SEC Form N-PX Proxy Voting Records Explained
SEC VERIFY DATA TITLE: What Is SEC Form N-PX Proxy Voting Records Explained SEO DESCRIPTION: Learn what SEC Form N-PX is, which investment funds file it, what proxy voting records it contains, and how investors can use N-PX to review fund voting activity. WHAT IS SEC FORM N-PX Form N-PX is an annual SEC filing used by
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What Is SEC Form N-PORT Fund Portfolio Reporting Explained
SEC VERIFY DATA TITLE: What Is SEC Form N-PORT Fund Portfolio Reporting Explained SEO DESCRIPTION: Learn what SEC Form N-PORT is, which registered funds file it, what portfolio information it contains, and how investors can use N-PORT data. WHAT IS SEC FORM N-PORT Form N-PORT is an SEC reporting form used by most regis
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What Is SEC Form 6-K Foreign Private Issuer Current Report Explained
SEC VERIFY DATA TITLE: What Is SEC Form 6-K Foreign Private Issuer Current Report Explained SEO DESCRIPTION: Learn what SEC Form 6-K is, which foreign private issuers file it, what information it can contain, and how Form 6-K differs from Form 20-F and Form 8-K. WHAT IS SEC FORM 6-K Form 6-K is a report used by foreign
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What Is SEC Form F-1 Foreign Private Issuer Registration Explained
SEC VERIFY DATA TITLE: What Is SEC Form F-1 Foreign Private Issuer Registration Explained SEO DESCRIPTION: Learn what SEC Form F-1 is, which foreign private issuers use it, what companies disclose, and how Form F-1 differs from Form S-1. WHAT IS SEC FORM F-1 Form F-1 is a Securities Act registration statement used by c
Read guide →What Is SEC Form S-3 Short-Form Registration Explained
SEC VERIFY DATA TITLE: What Is SEC Form S-3 Short-Form Registration Explained SEO DESCRIPTION: Learn what SEC Form S-3 is, which public companies may qualify to use it, how shelf registration works, and how Form S-3 differs from Form S-1. WHAT IS SEC FORM S-3 Form S-3 is a short-form registration statement used by cert
Read guide →What Is SEC Form S-1 Registration Statement Explained
SEC VERIFY DATA TITLE: What Is SEC Form S-1 Registration Statement Explained SEO DESCRIPTION: Learn what SEC Form S-1 is, what companies disclose before a registered securities offering, how the prospectus works, and how S-1 differs from Form 10-K and Form 1-A. WHAT IS SEC FORM S-1 Form S-1 is the basic SEC registratio
Read guide →What Is SEC Form 144 Proposed Sale of Securities Explained
SEC VERIFY DATA TITLE: What Is SEC Form 144 Proposed Sale of Securities Explained SEO DESCRIPTION: Learn what SEC Form 144 is, who may need to file it, what proposed insider sales it reports, and how Form 144 differs from Rule 144 and Form 4. WHAT IS SEC FORM 144 Form 144 is a notice filed in connection with certain pr
Read guide →What Is SEC Form 5 Annual Insider Ownership Report Explained
SEC VERIFY DATA TITLE: What Is SEC Form 5 Annual Insider Ownership Report Explained SEO DESCRIPTION: Learn what SEC Form 5 is, who may need to file it, which insider transactions can appear, and how Form 5 differs from Form 3 and Form 4. WHAT IS SEC FORM 5 SEC Form 5 is an annual beneficial ownership report used by cer
Read guide →What Is SEC Form 3 Initial Insider Ownership Explained
SEC VERIFY DATA TITLE: What Is SEC Form 3 Initial Insider Ownership Explained SEO DESCRIPTION: Learn what SEC Form 3 is, who must file it, what beneficial ownership information it shows, and how Form 3 differs from Form 4 and Form 5. WHAT IS SEC FORM 3 SEC Form 3 is the initial statement of beneficial ownership filed b
Read guide →What Is SEC Form 10-Q Quarterly Report Explained
SEC VERIFY DATA TITLE: What Is SEC Form 10-Q Quarterly Report Explained SEO DESCRIPTION: Learn what SEC Form 10-Q is, what companies disclose each quarter, how financial statements are presented, and how 10-Q differs from 10-K and 8-K. WHAT IS SEC FORM 10-Q Form 10-Q is a quarterly report filed with the U.S. Securities
Read guide →What Is SEC Form 10-K Annual Report Explained
SEC VERIFY DATA TITLE: What Is SEC Form 10-K Annual Report Explained SEO DESCRIPTION: Learn what SEC Form 10-K is, what companies disclose in an annual report, where audited financial statements appear, and how 10-K differs from 10-Q and 8-K. WHAT IS SEC FORM 10-K Form 10-K is an annual report filed with the U.S. Secur
Read guide →What Is SEC Form 4 Insider Trading Disclosure Explained
SEC VERIFY DATA TITLE: What Is SEC Form 4 Insider Trading Disclosure Explained SEO DESCRIPTION: Learn what SEC Form 4 is, who must file it, the two-business-day deadline, transaction codes, and how investors can read insider buying and selling disclosures. WHAT IS SEC FORM 4 SEC Form 4 is a public filing used to report
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